Andrea Beatty, Partner in Piper Alderman’s financial services regulatory team offers a workshop for the financial services industry on:
- achieving compliance with ACL and AFSL obligations;
- revitalised and refreshed financial executives safety skills;
- regulatory tips for a post COVID-19 world; and
- the things Responsible Managers and Representatives and those responsible for their Representatives need to know.
This training workshop is a practical guide to ACL and AFSL licensing obligations, with current case studies to keep your business informed and up to date on changes in the industry.
This session is suitable for:
- Financial industry firms
- ACL and AFSL responsible managers – mandatory CPD
- ACL credit representatives and AFSL authorised representatives
- Legal and compliance personnel
- Operations and marketing personnel
- Mortgage and finance brokers
- Financial planners and advisers
- Credit providers
- FinTech and regtech developers / promoters
To register for this workshop, please click ‘Register To Attend‘.
10:00 – 10:10 amIntroduction and welcome
|Session 1 – AFSL & ACL key obligations|
|Session 2 – Successfully leaping 2023 traps|
1:00 – 1:30 pmLunch
|Session 3 – Financial Services spotlight|
|Session 4 – AFSL and ACL industry updates|
4:45 – 5:15 pmConclusion and questions
Responsible Managers can claim 7 CPD units and 9 CPD units if they complete an optional take-home multiple choice open book quiz.
Certificates of attendance will be given to all participants.